Investment adviser's legal and compliance guide
By: Terrance J. O'Malley, John H. Walsh
Contributors: Walsh, John, 1952- author
Edition: Second edition.
Publisher: Wolters Kluwer Law & Business
Published: 2013
Place of publication: New York
Language: eng
ISBN-13: 9781454838494
Subjects: Investment advisors; Legal status, laws; Financial services industry; Law and legislation; Professional ethics
Notes: Includes bibliographical references and index.
Table of contents: title: Maintaining SEC registration and related filings; title: Marketing advisory services; title: Establishing and maintaining the client relationship; title: Managing client accounts; title: Compliance oversight; title: Private funds, and specialty products; title: Recordkeeping requirements; title: SEC compliance examinations.